• Deborah

On May 30, the Investment Industry Regulatory Organization of Canada (IIROC) released its Priorities for the 2023 fiscal year. Amongst its core mandate to protect investors and ensure market integrity, the IIROC priorities are:

  • Advancing investor protection with key initiatives relating to establishing an expert investor issues panel, disgorgement, arbitration, order-execution-only and enforcement topics

  • Supporting industry transformation including addressing a member intake team, regulating crypto asset trading platforms, modernizing the rules and approach to regulation, establishing a compliance modernization group, assessing issues on back-office arrangements and subordinated debt financing, leveraging data and analytics, and managing technology and cybersecurity risks

  • Closing of the IIROC and MFDA amalgamation, creating a new self-regulatory organization (SRO)

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